General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1955 |
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1.–5. rezultāts no 21.
5. lappuse
... pay to the holders of such security interest or dividends at a specified rate ; and ( 2 ) The business of such issuer is managed by such State or political subdivision or by a board of officers appointed by such State or political ...
... pay to the holders of such security interest or dividends at a specified rate ; and ( 2 ) The business of such issuer is managed by such State or political subdivision or by a board of officers appointed by such State or political ...
11. lappuse
... payment therefor , to the extent that such member , broker or dealer owns and has received de- livery of securities of like kind , except that if such securities were subject to a lien when such payment was made they shall not be deemed ...
... payment therefor , to the extent that such member , broker or dealer owns and has received de- livery of securities of like kind , except that if such securities were subject to a lien when such payment was made they shall not be deemed ...
19. lappuse
... Pay or offer or agree to pay , directly or indirectly , to any person any compensation for soliciting another to ... payment of such compensation in connection with a distribution of securities , which plan has been filed with the ...
... Pay or offer or agree to pay , directly or indirectly , to any person any compensation for soliciting another to ... payment of such compensation in connection with a distribution of securities , which plan has been filed with the ...
20. lappuse
... pay such compensation , that transactions connected with such distri- bution are being carried out in violation of such plan . This exemp- tion shall be available only in respect of securities listed and regis- tered on a national ...
... pay such compensation , that transactions connected with such distri- bution are being carried out in violation of such plan . This exemp- tion shall be available only in respect of securities listed and regis- tered on a national ...
24. lappuse
... payments made by such owner or lessee ; and ( 4 ) Whether or not such owner or lessee is personally liable upon such securities . If any such statement or application does not contain the additional statement and exhibit required in ...
... payments made by such owner or lessee ; and ( 4 ) Whether or not such owner or lessee is personally liable upon such securities . If any such statement or application does not contain the additional statement and exhibit required in ...
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Bieži izmantoti vārdi un frāzes
account of customers admitted to dealing aggregate indebtedness amendment annual report application for registration application or report appropriate assets beneficial owner broker or dealer certificate consent and power deemed directly or indirectly director effective date equity security exempt security Exempted From Registration Exemption From Section financial statements fiscal form of proxy furnish hypothecation incorporated by reference issuance issuer lien or claim listed and registered loan managing agent material means ment national securities exchange officer operation of section owner or lessee paragraph partner or managing person pledgees power of attorney proxy statement purchase or sale pursuant to section registered or applying registration statement rules and regulations section 12 Securities Act securities carried securities ex Securities Exchange Act securities sold security exempted security holders security is admitted Service of Process solicitation specified stabilizing suant term thereto tion transaction unlisted trading privileges warrant
Populāri fragmenti
3. lappuse - Secretary shall be taken and held in all Courts to be as valid and binding as if due service had been made upon said applicant in the State of Kentucky.
29. lappuse - Control" (including the terms "controlling", "controlled by", and "under common control with") means the possession, directly or indirectly, of the power to direct or cause the direction of the management and policies of a...
80. lappuse - manipulative, deceptive, or other fraudulent device or contrivance", as used in section 15 (c) (1) of the act, Is hereby defined to Include any...
28. lappuse - affiliate' of, or a person 'affiliated' with, a specified person, is a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, the person specified. "(f) Control. The term 'control' (including the terms 'controlling,
3. lappuse - Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
18. lappuse - ... (a) to employ any device, scheme or artifice to defraud, (b) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading...
27. lappuse - Act, except to such extent and subject to such terms and conditions as the Commission, having due regard for the public interest and the protection of investors, may prescribe by rules or regulations with respect to any class of persons, securities, or transactions...
31. lappuse - In the case of shares, the par or stated value, if any; the rate of dividends, if fixed, and whether cumulative or noncumulative; a brief indication of the preference, if any; and if convertible, a statement to that effect.
72. lappuse - As to each class of securities of the bank, or of any person specified in paragraph (b), which is admitted to dealing on a national securities exchange or with respect to which a market otherwise exists, and which will be materially affected by the plan, state the high and low sale prices (or, in the absence of trading in a particular period, the range of the bid and asked prices) for each quarterly period within two years. This information may be omitted if the plan involves merely the voluntary...
93. lappuse - Commission) of the amount of all equity securities of such issuer of which he is the beneficial owner, and within ten days after the close of each calendar month thereafter, if there has been...